| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
SUNIL SETHY
(PAN:ABTPS5430L)
|
|
|
|
ZUARI AGRO CHEMICALS LTD.
CIN:L65910GA2009PLC006177
PAN:AAACZ3924H
|
|
ALLEGED INDULGENCE IN PUBLISHING MISREPRESENTED/ MISSTATED FINANCIAL STATEMENT IN MATTER OF ZUARI AGRO CHEMICALS LTD.
ALLEGED INDULGENCE IN FURNISHING UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS IN MATTER OF ZUARI AGRO CHEMICALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.73,12,500 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 05-MAR-2026 TO 04-JUL-2026
05-MAR-2026
|
|
| 102 |
|
|
SUNITI N.SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-APR-2009 TO 30-SEP-2009
19-MAR-2009
|
|
| 103 |
|
|
TARUN AGARWAL
|
|
|
ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF COROMANDAL FERTILIZERS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 06-JAN-2009 TO 05-JAN-2010
06-JAN-2009
|
|
| 104 |
|
|
VASANT HARIKISHAN BISSA
(PAN:AABPB8108M)
|
|
|
ALLEGED INDULGENCE IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF IT MICROSYSTEMS (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 28-APR-2009 TO 27-APR-2010
27-APR-2009
|
|
| 105 |
|
|
VIRAL V.MEWADA
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF ADITYA INFOSOFT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-DEC-2009 TO 30-NOV-2014
19-NOV-2009
|
|
| 106 |
|
|
VISHNUBHAI PATEL
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF PROMACT PLASTICS LTD.
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS VIOLATING REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND VIOLATED CLAUSE 3.2-3 OF PART A OF MODEL CODE OF CONDUCT IN MATTER OF PROMACT PLASTICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 23-NOV-2010 TO 22-NOV-2013
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO HOLD DIRECTORSHIP IN ANY LISTED COMPANY) FROM 23-NOV-2010 TO 22-NOV-2013
23-NOV-2010
|
|
| 107 |
|
|
VIVEK NAGPAL
|
|
|
|
PADMINI TECHNOLOGIES LTD.
CIN:L25202DL1990PLC039395
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-OCT-2007 TO 15-OCT-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2007 TO 15-OCT-2012
16-OCT-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.55,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-OCT-2007 TO 15-OCT-2012
11-AUG-2009
|
SAT: IMPUGNED ORDER DATED 16/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY A SUM OF RS.10,00,000 TOWARDS SETTLEMENT CHARGES AND RS.55,000 TOWARDS LEGAL EXPENSES ALONGWITH VOLUNTARILY UNDERTOOK TO REMAIN OUT OF CAPITAL MARKET FOR A PERIOD OF FIVE YEARS INCLUDING PERIOD FOR WHICH THEY HAVE REMAINED OUT OF CAPITAL MARKET IN TERMS OF IMPUGNED ORDER DATED 16/10/2007
|
| 108 |
|
|
YASH GOLECHA
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS THROUGH MANIPULATION IN SCRIP OF MAZDA FABRICS & PROCESSORS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 18-JUN-2009 TO 17-JUN-2011
15-JUN-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 6 of 6
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